In July 2001, Council approved the report of the Review of the University's system of delegations (979A/2001), formally delegating the oversight and management of the delegations and agencies system to the Vice-Chancellor. The recommendations of the review were implemented in 2002. The basic principles of the delegations system follow.

1. The Vice-Chancellor oversees the management of Council's delegations of authority (except for those powers which Council retains for itself).
   
2. Delegations reflect the University's organisational structure. Except where delegates are specified in legislation, the authorities held by any delegate are included in those held by that delegate's supervisor or line manager. This principle describes what is meant by "nested delegations".
   
3. Delegates may not exercise delegations in respect of themselves - they may not approve any action or transaction that provides them with a direct personal benefit. Therefore delegates may not among other things approve their own appointment; any form of remuneration or payment; promotion, transfer or secondment; termination through resignation, retirement or voluntary separation; or absence. (See also item 3 of Procedures.)
   
4. Authorities - delegations - will be closely aligned to responsibilities. Thus Head of Budget Units will necessarily have delegations adequate to their role and responsibilities.
   
5. If a delegation is marked as non-transferrable, it can be exercised only by the delegate to whom the authority is assigned.
   
6. The head of a budget unit is the Principal Delegate of that budget unit.
   
7. A Principal Delegate has the authority to determine which positions in the budget unit may hold transferrable delegations and the profile and limits of these delegations. Limits may not exceed those attached to a standard delegations profile. A Principal Delegate may at any time review and change delegations profiles assigned to staff within the budget unit.
   
8. Delegations are attached to positions rather than occupants of positions.
   
9. Principal Delegates are answerable to the Vice-Chancellor for the proper exercise of delegations in their area.
   
10. If a delegate is found to have exercised a delegation improperly, he or she may be subject to discipline and the delegation(s) revoked.
    
11. Delegations are to be exercised within the framework of University legislation, policy and guidelines.
    
12. Each budget unit will be required to establish and maintain an official Delegations file on which to record matters relating to delegates and delegations within that budget unit.
    
13. Tables of delegates and delegations will be accessible on the University's internal website (http://info.anu.edu.au/ovc/delegations/ ), together with this and associated policies.
    
14. A Delegations Administrator will be appointed by the Vice-Chancellor to oversee matters relating to delegations and authorities, and to advise the Vice-Chancellor and staff of the University on issues concerning delegations.
    
15. Policy development will need to be informed by the existing arrangements for delegates and delegations. The expectation is that new or changed delegations would be raised only infrequently, and so policy development should in general terms follow the existing delegations structure.
    
16. Heads of budget units will be required to provide annual assurances that the policies of the University have been adhered to and financial controls exercised over the resources of that budget unit. These assurances form part of the University's obligations under the Commonwealth Authorities and Companies Act 1997.

Procedures

1.       Budget units

1.1    A budget unit is defined as an academic or administrative or other organisational unit of the University which receives a budget allocation that is identifiably separate from other budget units. 

2.       Delegates and profiles

2.1    Principal Delegates\Heads of Budget Units

2.1.1  The Head of a Budget Unit is the Principal Delegate of that budget unit. 

2.1.2  Principal Delegates are responsible and accountable to their supervisor, and ultimately the Vice-Chancellor, for the proper management of the exercise of delegations in their budget unit or area of responsibility.

2.2    Other delegates

2.2.1  Principal Delegates have the authority to determine which staff in their budget unit or area of responsibility will hold delegations.  They may appoint as many, or as few, as is convenient for the efficient operation of their area of responsibility. 

2.3    Delegate profiles

2.3.1  Principal Delegates assign profiles to other delegates within their budget unit or area of responsibility.  Principal Delegates have the authority to determine the limits of those profiles, up to and including (but not exceeding) the limits for each profile.

2.3.2  Delegations fall into two broad categories: academic and administrative.  Administrative delegations are either general (those which apply to all heads of budget units and which relate to the normal management of budget units) or specialist (those which relate to a unique function such as research services provision and management).

2.3.3  Accordingly, some delegates may be assigned more than one profile.  For example, the head of an academic unit may have both a Delegated Authority profile as well as a Head of Budget Unit profile.  The first profile allows the head of the academic unit to exercise delegations related to the academic business of the unit, and the second relates to the management of the budget unit.  In the same way, directors of administrative divisions or heads of administrative offices will have both specialist delegations (i.e., those related to the unique responsibilities of the area of responsibility) and general delegations which relate more broadly to the administrative operation of their division or office.

2.3.4  A full list of Profiles is shown at http://info.anu.edu.au/OVC/Delegations/By_Profile/index.asp

2.4    Assigning profiles to staff

2.4.1  Any transferrable delegation may be assigned to a staff member in a budget unit by the Principal Delegate.  However, Principal Delegates are not obliged to assign delegations.

2.4.2  Principal Delegates assign a delegations profile using the form attached in the Forms section of this policy.  A copy is sent to the Delegations Administrator and the original form kept on the budget unit’s official Delegations file.  The copy sent to the Delegations Administrator should be accompanied by an updated Summary Table (see 8 below) for the budget unit.

2.4.3  When the occupant of a position changes, a new form is generated and a copy sent to the Delegations Administrator, together with an updated Summary Table, and the original is filed on the budget unit’s official Delegations file.

2.4.4  It is the responsibility of the Principal Delegate to ensure that forms are generated and signed by the occupant of the position assigned a delegations profile, and that the files are up to date.

2.4.5  The Delegations Administrator is responsible for ensuring that the profiles assigned are appropriate, and for certifying the assignment or update and posting the information on the delegations website.

3.      Exercising authority in respect of oneself

3.1   Delegates may not approve an action or transaction in respect of themselves.  Delegates will need approval from their supervisor or line manager for transactions from which delegates derive a direct personal benefit.

3.2   There are two exceptions to this rule.

3.2.1  Payroll Costing Analyses.  The HR Division runs a Payroll Costing Analysis (PCA) fortnightly for each budget unit.  Each budget unit should have at least two delegates with the authority to approve the budget unit’s PCA.   The University takes the view that in approving a PCA, the delegate is in effect authorised to approve the running of the budget unit’s fortnightly payroll.  In approving the PCA, delegates are not approving variations in their own salary because that will have been approved by another superior delegate.  There is therefore no breach of Principle 3.

3.2.2  Approval of appointment of staff.  In many cases, a delegate such as a Director of an academic unit, or a member of the Executive, or the head of an administrative unit or office, chairs a selection committee for a staff position within their area of responsibility.  Provided that University recruitment policy has been followed, a delegate who chairs a selection committee may approve the offer of an appointment on the recommendation of that selection committee.  The University view is that where selection documentation is faithful to policy, and selection and appointment processes (including the constitution of committees) have been followed, a sufficient level of scrutiny and transparency can be demonstrated to satisfy Principle 3.

3.3    Senior administrative staff of budget units eg Executive Officers, may also be delegates and exercise financial delegations, although they are subject to direction and supervision from their line manager, usually a Principal Delegate\Head of Budget Unit.  Such a delegate may exercise a delegation in respect of a Principal Delegate\head of budget unit.  (For example, an Executive Officer may independently approve or reject a claim for reimbursement from a Director.)  However, if a delegate declines to approve such a claim, the claim may be sent to the Principal Delegate’s supervisor for approval.  If this happens, the original delegate should attach a written explanation of why he or she is unable to approve the action or transaction.

4.      Monitoring

4.1   The exercise of delegations and observance of the limits of delegations will be subject to monitoring.  The Delegations Administrator, the Director or senior staff of a central administrative division, the Principal Delegate or a member of the Executive may conduct a check of delegations in a budget unit.  The normal expectation is that while a Principal Delegate, a member of the Executive or the Delegations Administrator might have an interest in all delegations in a budget unit, an administrative division or office would generally have an interest only in those that relate directly to the division’s core activities and responsibilities.

4.2   Principal Delegates are expected to maintain a watching brief, using all means at their disposal, over the exercise of delegations in their budget unit.  They are expected to take or recommend action in the form of the gradient of disciplinary procedures, including revocation of a delegation profile, if there is evidence of misuse of delegated authorities. 

4.3   If a central administrative division or office wishes to check that a staff member holds the delegation he or she purports to hold, it should refer to that budget unit’s up-to-date Summary Table posted on the delegations website.

4.4   Where a division or office believes a delegation has been improperly exercised, the division should notify the head of the relevant budget unit in writing and in detail, with a copy to the Delegations Administrator.  The head of the budget unit, as Principal Delegate, should promptly investigate the claim and act according to the outcome of the investigation.  Action should include a response to the initiating division or office acknowledging the notification and giving a brief report on the outcome of the investigation, with a copy to the Delegations Administrator.

4.5   If a head of a budget unit does not act within a reasonable time to investigate a formal notification, the notifying division or office should then advise the Delegations Administrator who will pursue the issue further.  Pursuit of the issue may include a formal report to the Vice-Chancellor and\or a recommendation to the University’s internal auditor for further investigation.

4.6   If a proper investigation concludes that, on the evidence, a delegation was improperly exercised, action to be taken should be in accordance with the misconduct provisions of the University’s Enterprise Agreement and associated policies and guidelines. 

5.      Induction, training, briefing

5.1   The Delegations Administrator is responsible for ensuring that when a new head of budget unit is appointed, a briefing on delegations is included in the usual orientation and induction processes carried out by the Human Resources Division and the supervisor and\or local area.

5.2   Principal Delegates are responsible for ensuring that new delegates appointed to their budget unit are given appropriate training on delegations as part of the induction processes within their budget unit.

6.       The Commonwealth Authorities and Companies Act 1997 (CAC Act)

6.1   The CAC Act puts in place measures to ensure the accountability of Commonwealth Authorities (of which the University is one) and those who govern or manage them.  It sets out a number of obligations and duties in respect of accounting, reporting and audit, and some significant responsibilities in relation to conduct, together with a raft of criminal and civil penalties for non-compliance.  These responsibilities for the most part relate to “directors” but also to “officers”. 

6.2   “Director” is defined in section 5(a) of the CAC Act as a member of the governing body of the Authority (i.e., Council).  Legal advice received by the University indicates that “officers” may be assumed to include not just members of Council but also Deans and Directors, as well as the Directors of some central administrative divisions with responsibilities over a significant part of the University’s resources.

6.2   The CAC Act is explicit about the responsibilities and obligations of “officers”.  It is thus in the best interest of the University and those staff captured within the definition of “officer” to ensure that these obligations, responsibilities and penalties are well understood and observed.

7.      Reports

7.1   At the end of every year, the Vice-Chancellor and Council will seek written assurance from heads of budget units that the policies of the University have been followed, financial controls exercised appropriately and University resources applied for the sole and proper benefit of the University.  This written assurance forms part of the University’s compliance with the CAC Act, and enables Council to make its reports to the Ministers for Education, Employment and Workplace Relations and for Finance and Deregulation with confidence. 

7.2   A formal request for the assurances is generated from the Council and Boards Secretariat to all heads of budget units, as Principal Delegates, early in each new year. 

7.3   The Delegations Administrator is responsible for maintaining an up-to-date list of heads of budget units. 

8.       Delegations Tables and Summary of Delegations Tables

8.1   The Delegations website will include listings of categories of delegations as well as delegation profiles.  The Delegations by Category table enables staff to locate a delegation together with the delegates who hold that delegation.  The Delegations by Profile table will allow staff to locate a delegate and identify the delegations held.

8.2   In addition, there will be a list of Summary of Delegations Tables (“Summary Tables”) on the Delegations website.  Principal Delegates should send updated Summary Tables to the Delegations Administrator, who checks, certifies and then posts the table.  Summary Tables will allow staff to view all delegates within any given budget unit, together with their delegations profile and limits.

9.       New or modified delegations

9.1   Proposals requesting new or modified delegations should be sent to the Delegations Administrator who will make a recommendation to the Vice-Chancellor.

9.2   Principal Delegates will be notified by email if and when a new or modified delegation is raised.  These changes will be reflected on the Delegations website.

9.3   Wherever the University creates a new budget unit (and consequently a new head of budget unit\Principal Delegate), the Delegations tables will updated and the changes posted on the Website.

10.    Contacts and website

10.1  The Delegations website is at http://info.anu.edu.au/ovc/delegations/

10.2  The Delegations website contains:

(i)   the Assignment of Delegations Profile form (ref. Procedures, item 2.6)

(ii)  a sample Summary of Budget Unit Delegations table (ref. Procedures, item 2.7)

(iii) a list of delegations by category(http://info.anu.edu.au/OVC/Delegations/By_Category/index.asp)

(iv) a list of delegate profiles (http://info.anu.edu.au/OVC/Delegations/By_Profile/index.asp)

(v)  a list of Summary of Budget Unit Delegations tables for all budget units (http://info.anu.edu.au/OVC/Delegations/By_Budget_Unit/index.asp)

10.3  The Delegations Administrator is responsible for the Delegations website.

10.4  The Delegations Administrator is the first point of contact for matters related to delegations, and can be contacted by email at Delegations@anu.edu.au

Glossary of Terms

Admin Manager - In the delegations system, an “admin manager” is a senior administrator in any University organisational unit.  This could mean a School Manager, an Executive Officer, or a Branch or Section Head in an administrative division or office.  The Admin Manager profile can be held by more than one senior administrator in a budget unit.

Budget Unit - A University unit listed on the Academic units and Administrative units webpages.

CAC Act - The Commonwealth Authorities and Companies Act 1997.  This legislation was enacted to put in place measures to ensure the accountability of Commonwealth Authorities (of which the University is one, by virtue of its enabling Act) and those who govern or manage them.

College Dean/Director - The Head of an ANU College.

Course Authority - A person appointed by the ANU College Dean or Delegated Authority under academic legislation.

Delegate - A person invested with authority to carry out the functions, powers and duties of, or to act on behalf of or represent others.[1]   A person who occupies an official position at the University, that position having been assigned authorities or powers by the Vice-Chancellor by way of the University’s delegations system. 

Delegated Authority - A person appointed by the ANU College Dean under academic legislation.

Delegation - A power or authority given to a delegate.  A delegation is expressed in and limited by a form of words, and is formally assigned by the holder of the power to the delegate. 

Director  - Normally, the academic and administrative head of an ANU College, Faculty, Research School or University Centre.  Some heads of administrative divisions are also titled Director.  In the delegations tables, Director refers only to a head of a faculty, research school or centre.  (Directors of administrative divisions and offices are referred to as DHR, DF&BS, DF&S, etc.)

Executive - Refers to the most senior officers of the University – the Vice-Chancellor, Deputy Vice-Chancellors and Pro-Vice-Chancellors.

Finance 1, Finance 2, Finance 3 - These represent three levels of delegations profile within budget units for staff not occupying the positions of head of budget unit, admin manager or head of department.  The head of a budget unit may assign a profile to any member of the budget unit.

Typically, profiles would be assigned as follows:
Finance 1            To general staff ANU 8 and above
Finance 2            To general staff ANU 5-7
Finance 3            To general staff up to ANU 4

Academic staff may also be assigned any one of the three Finance profiles at the discretion of the Principal Delegate.

Head of Budget Unit - A Head of Budget Unit is the head of a unit listed on the delegations website at:

http://info.anu.edu.au/ovc/Delegations/By_Budget_Unit/By_Academic_Unit

http://info.anu.edu.au/ovc/Delegations/By_Budget_Unit/By_Administrative_Unit

The term is interchangeable with Principal Delegate, in the delegations policy and tables.  The term Head of Budget Unit is normally used when referring to the authorities related to the management of that Budget Unit, while Principal Delegate is used when referring to the authority to assign delegations profiles.

Head of Department - A “Department” is the traditional second-tier organisational unit of a School, Faculty or Centre and is variously referred to as a School, Centre, Division, Group or Program as well as a Department.  In the delegations system, Department refers to a second or third tier organisational unit within a larger budget unit, whether academic or administrative, and regardless of the operating name of that second- or third-tier unit.

Officer - 1.  A staff member of the University.  2.  Legal advice received by the University indicates that, under the CAC Act, “officers” may be assumed to include not just members of Council but also College Deans, Directors, and the Directors of some central administrative divisions such as Finance and Business Services.

Portfolio - Refers to the broad areas of responsibility of a Deputy Vice-Chancellor or a Pro-Vice-Chancellor.  These are set out in the University’s administrative organisation chart. (http://info.anu.edu.au/ovc/Executive/040PP_University_Structure)

Principal Delegate - A Principal Delegate is a head of a budget unit who has the authority to assign delegations profiles to other staff within the budget unit.  Throughout the delegations policy documents and tables, the term is interchangeable with Head of Budget Unit.  The term Head of Budget Unit is normally used when referring to the authorities related to the management of that Budget Unit, while Principal Delegate is used when referring to the authority to assign delegations profiles.

Responsible Officer - A person appointed by the Director of Information Services to exercise powers and perform functions in accordance with the information Infrastructure and Services Rules.

Supervisor - A staff member assigned to supervise, manage or direct the work of another staff member(s).  A Supervisor delegations profile allows a staff member to approve leave of up to six weeks of staff for whom they are responsible.

[1]                Butterworths Concise Australian Legal Dictionary (1997)